Develop, implement and monitor compliance functions throughout the business, particularly within operations and finance.
- develop and drive the implementation of the compliance manual
- act as first point of contact for, and to resolve quickly and efficiently, general compliance queries
- Ensure policies, standards & procedures are up to date and are appropriate
- ensure that the business meets regulatory and legal requirements and effectively manages regulatory risk to within risk appetite.
- ensure that the correct balance is struck between the commercial interests of the business; the statutory objectives of the regulator; and the interests of our client's customers.
- understand the governing compliance requirements and document risk and compliance related strategies and operational procedure.
- log complaints in complaints register and follow up to ensure resolution
- assessing the regulatory framework and ensure any developments are implemented and embedded in the business
- Confirm client’s name on sanctions list and update the list as required
strong writing, communication and influencing skills
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